Associate, Investment Adviser Compliance

About the Role

PINE Advisor Solutions, a Centralis company, is seeking an entry-level Associate to join their Adviser Compliance Support Services (ACSS) team. This role provides regulatory and compliance support to PINE's registered investment adviser clients in a fast-paced, team-oriented environment.

Key Responsibilities

• Support and assist PINE’s registered investment adviser clients by providing regulatory and compliance support.
• Support oversight of registered investment adviser compliance matters.
• Assist in the development of registered investment adviser risk assessment and risk analysis programs.
• Assist with annual reviews in accordance with Rule 206(4)-7 of the Investment Advisers Act of 1940.
• Assist in establishing and/or updating required items for a registered investment adviser, including an ongoing compliance calendar, compliance manual, and code of ethics.
• Assist with the preparation and filing of periodic, annual, and ongoing regulatory filings (e.g., Form ADV, Form PF, 13F, 13D/G, 13H).
• Conduct periodic and annual employee compliance training.
• Assist with annual reviews of key vendors, including administrators, transfer agents, fund distributors, auditors, and prime brokers.
• Conduct quarterly forensic compliance program testing, including performing ongoing reviews based on clients’ written policies and procedures.
• Assist with regulatory examinations of clients’ compliance programs conducted by regulatory authorities, including the SEC, NFA, and state securities boards.
• Assist in the development/maintenance of compliance policies and procedures, as well as the design/maintenance of the compliance program.
• Maintain awareness of industry regulatory developments and assist in developing updated policies for registered investment advisers.
• Provide support to Registered Fund CCO Support services as needed.

Requirements & Tech Stack

• Proficiency in MS Office, including Excel, PowerPoint, and Word.

Qualifications

• Bachelor’s degree in finance, business, economics, accounting, or a related field.
• 0-2 years of experience (including internships) in a regulatory, compliance, or finance-related field, preferably within the investment management industry.
• Excellent written and verbal communication skills, with the ability to clearly convey complex information.
• Collaborative team member with strong interpersonal skills and a positive, solution-oriented approach.
• Demonstrated ability to build and maintain effective relationships with colleagues and clients.
• Strong interest in learning about compliance and regulatory matters affecting the operations and governance of investment advisers, pooled investment vehicles, and registered mutual funds.
• Relevant coursework in securities regulation, business law, or financial markets is a plus.
• Familiarity with the Investment Advisers Act of 1940, Investment Company Act of 1940, Regulation D, and other SEC, FINRA, and NFA laws and regulations that affect asset managers is a plus.

Work Model

• Hybrid work schedule, working from the Raleigh office 2-3 days/week.